DFX Intelligence

W•••••• B••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

W•••••• B••• B•••••••

Advisor at I••••••••• A•••••• A•••••••• L••

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4d9895b3-110e-1a93-aeb1-a279bf2d0681

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 18, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: I••••••••• A•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 25, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• A•••••• A•••••••• L••	I•••••••••_WEALTH	Aug 25, 2014	n/a	yes	CHARLOTTE, NC	Current employment
N•• A•••••• S•••••••• L••	Former SEC adviser	Feb 17, 2006	Aug 25, 2014	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• A•••••• S•••••••• L••	I••••••••• A•••••• A•••••••• L••	Aug 25, 2014	Aug 25, 2014	0	Firm change	Other
C•••••••• G••••• M•••••• I•••	N•• A•••••• S•••••••• L••	Mar 4, 2006	Feb 17, 2006

Relationships

Registered with (4)

→ I••••••••• A•••••• A•••••••• L••Registered adviserregistration: current employment
Aug 25, 2014 to presentfactForm ADV
→ N•• A•••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 17, 2006 to Aug 25, 2014factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Oct 31, 2003 to Mar 4, 2006factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d9895b3-110e-1a93-aeb1-a279bf2d0681
First observed: Apr 18, 2001
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.